SEC Form 4 · accession 0001104659-26-102420
CATERPILLAR INC · CAT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kyle Joseph Epley
Officer — Chief Financial Officer
Period of report
Aug 26, 2026
Accepted (ET)
Aug 27, 2026 · 3:47 pm EDT
Rule 10b5-1 plan
box not checked
Issuer CIK
0000018230
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom Stock UnitsF2,F4,F1,F3 | — | Aug 26, 2026 | A | 11 | A | — | — | Common Stock | 11 | 5,862 | D |
| Phantom Stock UnitsF4,F1,F3 | — | Aug 26, 2026 | A | 7 | A | — | — | Common Stock | 7 | 5,869 | D |
Explanation of responses
- F1Each phantom stock unit under the company's non-qualified deferred compensation plan as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock.
- F2This total includes 6 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan ("the Plan") as a result of excess contributions at a price per share of $821.93 and 5 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration.
- F3The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.
- F4Includes adjustments for dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates.